Director Broker Dealer Compliance

The Compliance Director will play a key leadership role in overseeing regulatory and operational compliance program. Partnering closely with the CCO and business leaders, this individual will ensure adherence to SEC, Client, and MSRB requirements while supporting business growth in a complex regulatory environment.Key ResponsibilitiesLead regulatory exams, inquiries, and interactions with the SEC, Client, and exchangesOversee compliance with applicable broker-dealer regulations and securities lawsDevelop and maintain compliance policies, procedures, and supervisory frameworksPartner with business units to identify, assess, and remediate regulatory risksProvide guidance on regulatory matters, including new products and trading strategiesOversee trade reporting (TRACE, CAT/CAIS) and pre-trade compliance within the OMSMaintain supervisory programs in line with Client Rules 3110 and 3120Lead issue management, including root cause analysis and corrective actionsSupport strategic and ad hoc compliance initiativesEducation & Experience10+ years of broker-dealer compliance experienceClient Series 7 or 99 required